SEC Form 4 · accession 0001012975-18-001150

MARKETAXESS HOLDINGS INC · MKTX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chairman & CEO · Director

Period of report

Oct 29, 2018

Accepted (ET)

Oct 31, 2018 · 4:30 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001278021

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I
Common Stock, par value $0.003 per share	Oct 29, 2018	M	10,298	$21.56	A	1,054,986	D
Common Stock, par value $0.003 per share	Oct 29, 2018	M	12,202	$21.56	A	1,067,188	D
Common Stock, par value $0.003 per share^F2	Oct 29, 2018	S	12,202	$209.6289	D	1,054,986	D
Common Stock, par value $0.003 per share	Oct 30, 2018	M	9,860	$21.56	A	1,064,846	D
Common Stock, par value $0.003 per share	Oct 30, 2018	M	11,640	$21.56	A	1,076,486	D
Common Stock, par value $0.003 per share^F3	Oct 30, 2018	S	11,640	$214.336	D	1,064,846	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Employee Stock Option (right to buy)^F4	$21.56	Oct 29, 2018	M	10,298	D	—	Jan 19, 2021	Common Stock	10,298	167,671	D
Employee Stock Option (right to buy)^F4	$21.56	Oct 29, 2018	M	12,202	D	—	Jan 19, 2021	Common Stock	12,202	155,469	D
Employee Stock Option (right to buy)^F4	$21.56	Oct 30, 2018	M	9,860	D	—	Jan 19, 2021	Common Stock	9,860	145,609	D
Employee Stock Option (right to buy)^F4	$21.56	Oct 30, 2018	M	11,640	D	—	Jan 19, 2021	Common Stock	11,640	133,969	D

F1The shares sold were acquired contemporaneously upon the cashless exercise of a stock option at an exercise price of $21.56 per share.
F2The transaction was executed in multiple trades at prices ranging from $209.25 to $210.10. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F3The transaction was executed in multiple trades at prices ranging from $213.95 to $214.645. The price above reflects the weighted average sales price. Detailed information regarding the number of shares sold at each separate price will be provided upon request by the Commission staff, the Issuer or a security holder of the Issuer.
F4The option was granted on January 19, 2011. The shares underlying the option vested at the following times: 12.5% on January 15, 2012, 25% on each of January 15, 2013, 2014 and 2015, and 12.5% on January 15, 2016.